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2019 Regulatory Compliance Exchange

Taking Care of Business While Embracing Change

4/10/2019 - 4/12/2019
Loews Vanderbilt Hotel, Nashville, TN

Overview

Who Attends

This conference is designed for

  • Chief Compliance Officers – Compliance and Internal Audit
  • Legal Counsel, General Counsel and Attorneys
  • Compliance and Market Conduct VPs, Directors, and Managers
  • Compliance, Market Conduct and Legal Staff
  • Audit and Risk Management Managers and Staff
  • AIRC Designees (who receive $100 off the member rate when they register)

Highlights

In this time of regulatory uncertainty and changes, the industry has never needed this conference more.

Created by Compliance professionals for Compliance professionals, attendees value this conference for the many opportunities to hear about and discuss crucial regulatory issues and learn effective compliance practices from peers and topical experts.

Hear what attendees have to say…

“At the Regulatory Compliance Exchange, I always learn something new and come home with ideas that I can implement right away.”

“I attend the Regulatory Compliance Exchange because of the diverse array of compliance topics covered as well as the great networking opportunities.”

“What I like best about the Regulatory Compliance Exchange is that it’s the perfect size – it’s not too big it’s not too small, so it’s the perfect size for networking opportunities.”

Program and agenda updates will be posted starting in the fall of 2018, so be sure to come back to learn more then.

Registration

Early Bird Registration Fee:
LIMRA and LOMA member: $1,285
AIRC Designee: $1,185
Nonmember: $1,925
Guest/Spouse fee: $100

After March 11, 2019:
LIMRA and LOMA member: $1,485
AIRC Designee: $1,385
Nonmember: $2,125
Guest/Spouse fee: $100

Refund Policy
All cancellations and refund requests must be in writing. Full refunds minus a $100 administrative fee will be granted only on cancellations received 10 business days prior to March 26, 2019. No refunds will be granted after that time. In the unlikely event the meeting is cancelled, LIMRA and LOMA will refund the total registration fee. However, LIMRA and LOMA will not be responsible for any travel, hotel accommodations or other costs incurred.

Hotel/Venue

Loews Vanderbilt Hotel

2100 West End Avenue
Nashville, TN, 37203

Hotel Reservations

If you receive any unsolicited or suspicious email or phone call about a hotel booking in conjunction with this meeting, our advice is not to click on it, but delete the email immediately. In the case of a phone call, never give out your credit card information. Our designated conference hotels will never call you unless you contact them first.

Loews Vanderbilt Hotel
2100 West End Avenue
Nashville, TN 37203
Phone: 615-320-1700

Make your reservations by March 11, 2019 to receive the group rate of $229 single/double (plus applicable sales taxes). Requests after March 11, 2019 will be accepted based on space availability. The group guest room rate will be offered 3 days prior and 3 days after the meeting dates subject to availability.

Please note that hotel rates will go up after the cut-off date or when the meeting room block sells out, whichever comes first. Make your reservations early to be able to take advantage of our discounted rates.

To make hotel reservations 

Hotel Image

Agenda

Speakers

Russell Anderson, CFE
Director, Fraud Operations, MassMutal
  • Thursday, April 11, 2019

    1:15 pm - 2:15 pm: General Session

Russell Anderson, CFE

Director, Fraud Operations, MassMutal

Mr. Anderson has over 30 years of Insurance industry experience mostly working for MassMutual where he is currently a Director within the MassMutual Fraud Operations department. Mr. Anderson leads the Fraud Surveillance and Analytics Team charged with protecting MassMutual and its clients from the ever growing and evolving fraud threats confronting the Financial Services industry. Throughout his career he has worked in and led numerous teams with risk management, regulatory, audit, compliance and financial control responsibilities. He is also a Certified Fraud Examiner (CFE) and a member of the Association of Certified Fraud Examiners.

Mr. Anderson also serves as the Vice-Chairman of the MassMutual Federal Credit Union.
Frank Badalamenti
Principal, PricewaterhouseCoopers
  • Thursday, April 11, 2019

    1:15 pm - 2:15 pm: General Session

Frank Badalamenti

Principal, PricewaterhouseCoopers

As a partner in PwC’s Financial Crimes Unit and Forensic Services practice, Frank assists clients with the assessment and remediation of operational, compliance, and technology-related risks, and in the development of an effective compliance and internal control environment. He specializes in advising financial institution clients on matters related to financial crimes, including fraud, money laundering, bribery and corruption, and securities trading schemes. Frank is a Certified Fraud Examiner, and member of the Association of Certified Anti-Money Laundering Specialists and the Association of Certified Financial Crime Specialists. An accomplished speaker and coach, Frank has led national training efforts in forensic technology for PwC's Advisory practice.
Jo Cicchetti
Partner, Drinker Biddle
  • Friday, April 12, 2019

    9:10 am - 10:00 am:

Jo Cicchetti

Partner, Drinker Biddle

Jo Cicchetti is a corporate and securities lawyer who focuses her practice on the life insurance industry, with an emphasis on emerging legal and regulatory issues. As Lead Lawyer of the Firm’s Insurance Privacy and Cybersecurity team, she guides its efforts to provide data privacy and cybersecurity guidance to clients.

Ms. Cicchetti is active in counseling clients regarding cyber issues, corporate governance, enterprise risk, vendor management, insurance regulatory, compliance and resolution of regulatory actions involving insurance and investment products. She has also had extensive experience with the development and distribution of fixed and variable insurance products that target corporate, high net worth and retirement markets. She is a frequent lecturer and writer in these areas.
Tom Crawford
Senior Managing Director, Strategic Communications, FTI Consulting
  • Wednesday, April 10, 2019

    1:15 pm - 2:00 pm: General Session

Tom Crawford

Senior Managing Director, Strategic Communications, FTI Consulting

As a senior member of the Public Affairs practice, Tom Crawford advises boards of directors, executive teams, and senior decision-makers on public-policy issues that pose opportunities and challenges to their organizations' enterprise values. He has worked on every budget reconciliation and tax-measure package considered by Congress in the past two decades.

Prior to FTI Consulting, Crawford was a founding partner of government-affairs and lobbying firm, C2 Group. There he oversaw the firm’s growth and development into a “Top 20” independent lobbying firm in Washington, D.C. As a respected public-policy expert, Crawford is also a member of The Tax Council, and chairman of the board of directors at Harvard University’s Center on Media and Child Health.
Daniel Gregus
Associate Director, Office of Clearance and Settlement Examinations, Securities and Exchange Commission
  • Thursday, April 11, 2019

    10:45 am - 12:00 pm: General Session

Daniel Gregus

Associate Director, Office of Clearance and Settlement Examinations, Securities and Exchange Commission

Dan is the Associate Director over OCIE’s Office of Clearance and Settlement Examinations and has led that group since 2016. That group examines the controls and liquidity of clearing agencies critical to the nation’s markets for compliance with the Dodd-Frank act and federal securities laws applicable to clearing agencies. Dan is also the Associate Regional Director in charge of the Broker-Dealer Examination (BD Exam) Program in the Chicago Regional Office (CHRO) of the SEC and has led that group since 2014. He joined the CHRO BD Exam Program as an Assistant Regional Director in 2007, where he led some of the CHRO’s and Commissions’ largest and most complex fraud, sales practice and market structure exams of regulated entities. Prior to that, Dan spent 14 years with the SEC as an attorney in the CHRO’s Enforcement Group, where he served as an Assistant Regional Director of Enforcement directing notable investigations and prosecutions of complex fraud and regulatory matters.
Cliff Hagler
Founder, President & CEO, Aquilan
  • Thursday, April 11, 2019

    8:00 am - 9:00 am: General Session

Cliff Hagler

Founder, President & CEO, Aquilan

Mr. Hagler has over 30 years in the software and computer services industries, with a primary focus in the life insurance and financial services sectors. Before joining Aquilan, Mr. Hagler served as Vice President & General Manager for US Operations at Cedar, Inc., a provider of complex data management solutions for the insurance industry. Prior to Cedar, Mr. Hagler served as Vice President of the Financial Services Division for Computer Sciences Corporation where he held responsibility for life insurance administration systems development and ongoing enhancements. Mr. Hagler is a frequent presenter at industry seminars and executive meetings and a regular contributor to leading industry publications.
Kyson Johnson
Chief Prosecutor, Texas Department of Insurance
  • Thursday, April 11, 2019

    1:15 pm - 2:15 pm: General Session

Kyson Johnson

Chief Prosecutor, Texas Department of Insurance

Department of Insurance (TDI). Kyson has been with TDI for approximately fourteen years and was the first full time prosecutor employed by TDI. There are currently five prosecution teams located across Texas. The prosecution teams are responsible for prosecuting all cases of insurance fraud that occur in their respective areas. This includes investigation, development of evidence, presentation to the grand jury, all pretrial matters and case disposition including both bench and jury trials. Cases prosecuted cover all aspects of insurance fraud and related criminal activity. The cases range from claimant & provider fraud to insurer fraud (including agent and employee embezzlement) and include the entire range of felony offenses.

In addition to his civilian job, Kyson is a lieutenant colonel in the United States Army Reserve where he serves as the staff judge advocate for the 95th Training Division at Fort Sill, Oklahoma.
Natalie Johnson
Compliance Business Analytics Manager, Allianz Life
  • Thursday, April 11, 2019

    8:00 am - 9:00 am: General Session

Natalie Johnson

Compliance Business Analytics Manager, Allianz Life

Natalie currently leads the Compliance Business Analytics function at Allianz Life. In this role, she develops strategy to advance the use of data and analytics to monitor, assess, and manage compliance risk within the company. Prior to this, Natalie developed a reporting and analytics program within the Suitability and Consumer Protection area to analyze trends and drive business decisions. She began her financial services career in the Actuarial area at Allianz Life.
Lawrence Kosciulek
Director, Regulatory Policy Department, FINRA
  • Thursday, April 11, 2019

    10:45 am - 12:00 pm: General Session

Lawrence Kosciulek

Director, Regulatory Policy Department, FINRA

Lawrence Kosciulek is responsible for administering and interpreting the rules relating to investment companies and variable contracts, and working with FINRA Board Advisory Committees in developing policies and procedures regarding investment companies regulations. He served in the same capacities at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA.

Lawrence is Liaison to the Independent Dealer/Insurance Affiliate Committee, a FINRA Board Advisory Committee. He has also assisted in the creation of various publications, including Notice to Members NtM 95-80 (Mutual Fund Sales Practices), NtM 99-35 (Variable Annuity Guidelines), NtM 99-55 (Q&A – Non-Cash Compensation), NtM 00-44 (Variable Life Insurance Guidelines), Regulatory Notices 09-32 and 10-05 (Deferred Variable Annuities) and Regulatory Notice 09-42 (Variable Life Settlements). He began his career in 1976 in the Chicago District Office of NASD before transferring to NASD’s home office in Washington, DC, in 1994.
David Levenson, DBA, FSA, CFA
President and Chief Executive Officer, LIMRA, LOMA, and LL Global

David Levenson, DBA, FSA, CFA

President and Chief Executive Officer, LIMRA, LOMA, and LL Global

David Levenson is president and CEO for LIMRA, LOMA and LL Global. In this capacity, he is responsible for leading one of the world’s largest association of life insurance and financial services companies, representing more than 1300 financial services companies across 64 countries.

Most recently, Levenson was a principal at Edward Jones and served on its management committee from 2015-2018. He was responsible for all products distributed through its network of 17,000 advisors in the U.S. and Canada. Prior to 2012, Levenson was president of wealth management at The Hartford Financial Services Group, responsible for the firm’s individual annuity, individual life, mutual fund and retirement plan businesses. He also served as president and CEO of Hartford Life, KK in Tokyo, where he was responsible for leading the largest annuity provider in Japan.

Levenson holds his Bachelor of Science from the Wharton School, University of Pennsylvania, his Master of Business Administration from Columbia Business School and a doctorate in business administration from The School of International Corporate Strategy at Hitotsubashi University in Tokyo, Japan. 

Sandra McDermott
Principal, Hinman Straub
  • Wednesday, April 10, 2019

    2:00 pm - 2:45 pm: General Session

Sandra McDermott

Principal, Hinman Straub

Sandy McDermott is a Principal in Hinman Straub’s Life Insurance Department, focused on life insurance and annuity compliance and regulatory matters. Sandy represents numerous life insurance companies before the New York Department of Financial Services assisting them with a variety of New York insurance regulatory issues including, but not limited to, agent compensation, advertising, illustrations, holding company matters, licensing, marketing, sales and product compliance matters and replacement issues. Sandy also assists life insurers with financial and market conduct examinations, remediation/corrective action plans and corporate governance issues, and has considerable experience counseling life insurers on business operational issues related to the distribution of all types of fixed and variable life insurance and annuity products.

Prior to joining Hinman Straub, Sandy spent nearly two decades as in-house counsel to the New York domestic life insurers of a major international insurance group and she uses that practical experience when advising her clients. Additionally, Sandy has spent several years in private practice as a partner in the insurance regulatory practice groups of national law firms.
Julie Mix McPeak
Commissioner, Tennessee Department of Insurance
  • Thursday, April 11, 2019

    10:45 am - 12:00 pm: General Session

Julie Mix McPeak

Commissioner, Tennessee Department of Insurance

Commissioner Julie Mix McPeak was appointed by Governor Bill Haslam to lead the Tennessee Department of Commerce and Insurance in January 2011.

Before being named to lead the department, she practiced as Counsel to the Insurance practice group of law firm Burr & Forman LLP. She also served as the Executive Director of the Kentucky Office of Insurance (KOI). Before her appointment as Executive Director, McPeak spent nine years as an attorney for KOI, the final five as general counsel. She also served as general counsel to the Kentucky Personnel Cabinet.

McPeak , who brings more than 20 years of legal and administrative experience in state government, is the first woman to serve as chief insurance regulator in more than one state.
Michael Rohrs
Associate Director, Control Risks
  • Friday, April 12, 2019

    9:10 am - 10:00 am:

Michael Rohrs

Associate Director, Control Risks

Michael Rohrs is an Associate Director and cyber security expert in Control Risks’ practice in the Americas, based in Washington, DC. Michael has 10 years of extensive experience in intelligence and information security, specializing in strategic intelligence, cyber threat intelligence, risk, cyber security program development, incident response, and crisis management. Michael develops tailored solutions for clients in North, Central, and South America as part of a comprehensive cyber risk and security capability. Prior to joining Control Risks, Michael ran cyber threat intelligence and security program development engagements, and provided intelligence support during incident response for major clients in North America at CrowdStrike. Before that, Michael was a cyber-intelligence analyst contracted to the Defense Intelligence Agency, where he focused on state and non-state entities in the Middle East.
Diane Stuto
Managing Director, Legislative and Regulatory Affairs, Life Insurance Council of New York
  • Wednesday, April 10, 2019

    2:00 pm - 2:45 pm: General Session

Diane Stuto

Managing Director, Legislative and Regulatory Affairs, Life Insurance Council of New York

Diane Stuto is the Managing Director, Legislative and Regulatory Affairs, of LICONY. She joined in the association in 1990 as an Assistant Vice President. She was appointed to Vice President in 1995, Senior Vice President in 1999, and to her current position in 2003. Diane's focus is primarily on legislative issues of importance to the life insurance industry of New York.

She is the primary contact for LICONY to the National Conference of Insurance Legislators (NCOIL). Diane is the LICONY PAC treasurer and is principally responsible for lobbying, New York election law and ethics compliance. She also has responsibility for certain regulatory issues, including life insurance and annuity replacements, annuity suitability, investment issues, including derivatives regulation, and holding company matters, including ERM and ORSA.
Christine Szafranski, FLMI, ITPM, CIPM, CIPP/US
Senior Director - Information Risk Management, The Northwestern Mutual Life Insurance Company
  • Friday, April 12, 2019

    9:10 am - 10:00 am:

Christine Szafranski, FLMI, ITPM, CIPM, CIPP/US

Senior Director - Information Risk Management, The Northwestern Mutual Life Insurance Company

Chris Szafranski leads the Privacy, Records Management and the Business Information Security Liaison (BISL) programs for Northwestern Mutual and its subsidiaries. Accountabilities include privacy incident management, records management compliance, PCI and HIPAA compliance, as well as regulatory preparedness, response and reporting for both privacy and cybersecurity.

Chris has over twenty-five years of experience in the financial services industry and is a Certified Information Privacy Manager (CIPM), a Certified Information Privacy Professional/US (CIPP/US) and holds an Insider Threat Program Manager Certificate (ITPM). Chris has a MBA with concentrations in risk management and human resources. She is also a Fellow of the Life Management Institute (FLMI) and is FINRA Series 6, 7 and 24 qualified.
Don Ulsch
Managing Member, MacDonnell Ulsch Cyber Advisory LLC
  • Friday, April 12, 2019

    9:10 am - 10:00 am:

Don Ulsch

Managing Member, MacDonnell Ulsch Cyber Advisory LLC

Don has decades of experience in the fields of cyber forensics, cybercrime, national security, cyber risk, regulatory compliance and stress testing, cyber geopolitics, and cyber insurance. He has worked with many of the most established and well known corporate brands across various industries, as well as law enforcement and the intelligence community, in leading large, complex investigations and engagements to help his clients find truth in responding to allegations of fraud, abuse, misconduct, and non-compliance.

A celebrated author and public speaker, Don has been nominated for Presidential appointment in cyber security within the US Federal government. He is currently the founding President of the Mercy College Cyber Research Institute in New York. Don is developing an analytic model that is designed to enhance the ability to forecast the next generation of cyber attacks and devise interventionist strategies to reduce the risk impact associated with these emerging attacks. He is also a contributor on cyber risk matters to “Homeland Security Today.”
Douglas Wheeler
Senior Vice President, Office of Governmental Affairs (State Affairs), New York Life Insurance Company
  • Wednesday, April 10, 2019

    2:00 pm - 2:45 pm: General Session

Douglas Wheeler

Senior Vice President, Office of Governmental Affairs (State Affairs), New York Life Insurance Company

Doug is currently a Senior Vice President in New York Life’s Office of Government Affairs. In his role, Doug and his team are responsible for the company’s government affairs operation in all 50 states including all activities involving the National Association of Insurance Commissioners. Doug joined the company in October 2011 as a Vice President in the Office of Government Affairs.

Prior to his tenure at New York Life, Doug was the Director of the Division of Insurance in the New Jersey Department of Banking and Insurance from March 2009 through October 2011. As Director, Doug was the chief regulator of the New Jersey life, health and property-casualty insurance markets, issuing licenses to insurance companies and producers, reviewing insurance products and rates for compliance with existing regulations, and monitoring the financial solvency of companies in the marketplace. This was Doug’s second stint at the Department as he had served as Assistant Commissioner for Legislative and Regulatory Affairs managing the Department’s legal team and as Chief of Staff at the Department from 2002 to 2006.
Don Williams
Senior Manager, Forensic Analytics, Deloitte & Touche LLP
  • Thursday, April 11, 2019

    8:00 am - 9:00 am: General Session

Don Williams

Senior Manager, Forensic Analytics, Deloitte & Touche LLP

Don is one of the key data scientists in Deloitte’s forensic analytics practice. He helps organizations design, implement, and tune analytics systems that monitor for risk, including detection of fraud and identity theft. Don’s current work focuses on applying big data and machine learning to identify and address sales practice risks for insurance companies and across the financial services industry.

Sponsors / Exhibitors

Exhibiting & Sponsorship Opportunities

Connect with Key Prospects
This conference is your opportunity to meet financial services marketing, marketing research, public relations, advertising, communications, sales support, and marketing services executives and professionals in one location.

Sponsorship Opportunities
We can help you reach out to your target market in many ways, such as:
• Sponsorship of an evening reception, luncheon, or refreshment breaks
• Special recognition in the registration brochure, onsite conference program, onsite signs, and general session walk-in slides
• Acknowledgement from the podium
• One-time usage of the attendee mailing for a one time, pre-conference outreach
• Specialty conference merchandise that will deliver your company name to all attendees

To create your premier sponsorship package Contact:
Kimberly Hull
Sponsorship & Exhibitor Program Manager

860-285-7752; khull@limra.com

EXHIBIT PACKAGE is $4,900 (after March 1st, Exhibitor fee is $5,200) and includes:


Each exhibiting organization will receive:

• A 10'x10' space (exhibits will not include pipe & drape), including electrical
• Two full conference registrations (total value $3,850– based on Non-Member rate)
• One-time use of the registrant/attendee list (including the email addresses of attendees who opt to share them).
• Listing in the on-site conference mobile app
• Listing on the LIMRA and LOMA Event web pages of your logo, description and website
• Listing on the online conference event page
• Recognition on general session walk-in slides
The exhibit area will be host to a reception on Wednesday evening, Thursday lunch, breakfast each morning and extended breaks on Thursday and Friday.
Sponsorship Opportunities - Raise your level of branding with this audience by securing a Sponsorship.

Benefits include:

• Multiple conference registrations, which include full access to attendees at breaks and meals
• Special recognition in the registration brochure, conference mobile app (with push notifications), onsite signs, and general session walk-in slides
• Acknowledgement from the podium
• Your company's marketing collateral prominently displayed for attendees
• Specialty conference merchandise that will deliver your company name to all attendees

 Any questions on exhibiting, please contact
Kimberly Hull
Sponsorship & Exhibitor Program Manager
860-285-7752; Khull@limra.com
 
REGISTER NOW AS AN EXHIBITOR

Platinum Sponsors:

Gold Sponsors:

Exhibitors

Contact LIMRA to learn more:

Joan O'Neil

Senior Conference Coordinator

LIMRA

(860) 285-7741

joneil@limra.com